<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/05/31?registers=between Mon, 12 May 2025 22:09:17 -0700 Mon, 12 May 2025 22:09:17 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/05/31?registers=between Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Order Audit Trail System https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10405.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10405.html Thu, 31 May 2007 00:00:00 -0700 E7-10405 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10405.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 92 (Limitations on Members' Trading Because of Customers' Orders) https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10404.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10404.html Thu, 31 May 2007 00:00:00 -0700 E7-10404 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10404.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10403.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10403.html Thu, 31 May 2007 00:00:00 -0700 E7-10403 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10403.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10378.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10378.html Thu, 31 May 2007 00:00:00 -0700 E7-10378 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10378.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Liquidity Provider Rebate Program for Transactions Executed Through NSX BLADE in Which the Order Delivery Mode of Interaction Has Been Selected https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10377.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10377.html Thu, 31 May 2007 00:00:00 -0700 E7-10377 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10377.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension of a Pilot Concerning the Exchange's Directed Order Program https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10376.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10376.html Thu, 31 May 2007 00:00:00 -0700 E7-10376 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10376.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving Proposed Rule Change Regarding the Annual Certification of Compliance and Supervisory Processes https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10375.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10375.html Thu, 31 May 2007 00:00:00 -0700 E7-10375 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10375.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10374.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10374.html Thu, 31 May 2007 00:00:00 -0700 E7-10374 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10374.pdf Notice - First Investors Equity Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10364.html https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10364.html Thu, 31 May 2007 00:00:00 -0700 E7-10364 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10364.pdf